Capital Markets, Investment Management & Securities Attorney

About the role

We are seeking attorneys and legal professionals for select opportunities involving investment management, registered funds, private funds, securities offerings, capital markets transactions, public company work, and sophisticated corporate finance matters.

Responsibilities

• Focus on 3-7 years registered investment company experience; hands-on Investment Company Act of 1940 and Investment Advisers Act of 1940 work; registration statements, offering documents, board materials, investment management agreements, fund governance, registered funds, ETFs, BDCs, tender offer funds, interval funds, and advisers.
• Lead transactions, not merely support; IPOs, follow-on offerings, high-yield and investment-grade debt, convertible notes, closing checklists, primary document drafting, transaction management, public companies, investment banks, private.
• SEC reporting and offerings; registration statements, prospectuses, offering documents for debt/equity offerings; 10-K, 10-Q, 8-K, proxy statements; due diligence management; corporate governance and SEC compliance; deal ownership from initiation to closing.
• Securities Act and Exchange Act work; public company reporting (10-K, 10-Q, 8-K), proxy statements, Section 16, insider trading policies, registered offerings, S-1/S-3, shelf takedowns, governance, listing compliance, private placements, Reg D, Rule 144A, PIPEs.

Requirements

• Candidates Must Have corporate, securities, capital markets, investment management, or funds experience
• Strong drafting and transactional judgment
• Comfortable with sophisticated client-facing work
• Excellent academic and law firm credentials where required
• Admitted or eligible in the applicable jurisdiction

Qualifications

• Candidates without strong drafting experience
• Candidates not interested in regulated investment or capital markets work

Skills

• Management
• Investment Management
• Investment
• Capital Markets
• Securities
• Capital